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SIFMA Home > Industry Priorities > Outsourcing
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US Regulatory Initiatives NASD Notice to Members 05-48 (July 2005): Outsourcing, Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers – pdf 5.0
-- NASD Interpretation of Notice to Members 05-48
NYSE Rule Filing (Not yet released for comment) SR-NYSE-2005-22; Filed: 03/16/2005, Proposal governing outsourcing functions to service providers, requiring annual regulatory review. (Rules 340 & 342) – pdf 5.0
International Regulatory Initiatives Basel Committee on Banking Supervision - The Joint Forum: Outsourcing in Financial Services - February 2005, pdf 5.0 IOSCO - Principles On Outsourcing Of Financial Services For Market Intermediaries, Report of the Technical Committee of IOSCO - February 2005, pdf 5.0
